2. QASP Amistad Turbine Pit and Related Structures Corro.pdf

SBU - CONTRACTING AND ACQUISITIONS

2020528-1045

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

Amistad Turbine Pit and Related Structures Corrosion Mitigation for the

United State Section, International Boundary and Water Commission (USIBWC)

TABLE OF CONTENTS

1. INTRODUCTION. 3

1.1. PURPOSE 3

1.2. PERFORMANCE MANAGEMENT APPROACH. 3

1.3. PERFORMANCE MANAGEMENT STRATEGY 4

2. ROLES AND RESPONSIBILITIES 4

3. IDENTIFICATION OF WORKS TO BE PERFORMED 4

4. METHODOLOGIES TO MONITOR PERFORMANCE. 5

5. QUALITY ASSURANCE REPORTING. 5

6. ANALYSIS OF QUALITY ASSURANCE RESULTS. 6

7. FAILURE TO PERFORM 7

LIST OF ATTACHMENTS

ATTACHMENT I – REQUIRED PERFORMANCE METRIC (RPM) TABLE

ATTACHMENT II – QUALITY ASSURANCE MONITORING FORM

ATTACHMENT III - CUSTOMER COMPLAINT INVESTIGATION.

Attachment I contain a table that identifies performance-based measures which will be used to monitor Contractor performance. The USIBWC will periodically evaluate the Contractor's performance by appointing a representative(s) to monitor performance to ensure services are received. The USIBWC representative will evaluate the Contractor's daily performance through personal dealings and direct inspections of work products and demonstrated knowledge of applicable regulations. The USIBWC may conduct random facility inspections and increase the number of quality control inspections if deemed appropriate because of repeated failures discovered during quality control inspections or because of repeated customer complaints. Likewise, the USIBWC may decrease the number of quality control inspections if performance dictates. The USIBWC representative shall make final determination of the validity of customer complaint(s).

If any of the services do not conform to contract requirements, the USIBWC may require the Contractor to perform the services again in conformity with contract requirements, at no increase in contract amount. When the defects in services cannot be corrected by re-performance, the USIBWC may:

(a) Require the Contractor to take necessary action to ensure that future performance conforms to contract requirements; and

(b) Reduce the contract price to reflect the reduced value of the services performed.

Price reductions will be in accordance with the acceptable quality level identified in the required performance metrics table.

QUALITY ASSURANCE SURVEILLANCE PLAN

(QASP)

1.0 INTRODUCTION

This Quality Assurance Surveillance Plan (QASP) is pursuant to the requirements listed in the Performance Work Statement (PWS) for the lead abatement, corrosion removal and repainting of one of the two Turbine Pits, and related construction works at Amistad Power Plant. This QASP sets forth the procedures and guidelines the United State Section of the International Boundary & Water Commission (USIBWC) will use in evaluating the technical performance of the contractor.

1.1 PURPOSE

1.1.1. The purpose of the QASP is to describe the systematic methods used to measure performance and to identify the reports required and the resources to be employed. The QASP provides a means for evaluating whether the contractor is meeting the performance standards identified in the SOW.

1.1.2 This QASP is designed to define roles and responsibilities, identify performance objectives, define the methodologies used to monitor and evaluate the contractor's performance, describe quality assurance reporting, and describe the analysis of quality assurance monitoring results.

1.2 PERFORMANCE MANAGEMENT APPROACH

1.2.1 The performance based PWS structures the acquisition around "what" service is required as opposed to "how" the contractor should perform the work. This QASP will define the performance management approach taken by the USIBWC to monitor, manage and take appropriate action on the contractor's performance against expected outcomes or performance objectives communicated in the PWS. Performance management rests upon developing a capability to review and analyze information generated through performance metrics. The ability to make decisions based on the analysis of performance data is the cornerstone of performance management. The data generated in a performance management approach provides information that indicates whether expected outcomes are being achieved adequately by the contractor or not.

1.2.2 Performance management also represents a significant shift from the more traditional Quality Assurance (QA) concepts in several ways. Performance management focuses on assessing whether outcomes are being achieved or not; and migrates away from scrutiny on compliance with the processes and practices used to achieve the outcome. The only exceptions to process reviews are those required by law (Federal, State and local) and compelling business situations such as safety and health. An outcome focus provides the contractor flexibility to continuously improve and innovate over the course of the contract, as long as the critical outcomes expected are being achieved at the desired levels of performance.

1.3 PERFORMANCE MANAGEMENT STRATEGY

1.3.1 The contractor's internal quality control system will set forth the staffing and procedures for self-inspecting the quality, timeliness, responsiveness, customer satisfaction, and other performance requirements in the PWS. The contractor will Utilize its internal quality control system to assess and report their performance to the designated Government representative.

1.3.2 The Government representative will monitor performance and review performance reports furnished by the contractor to determine how the contractor is performing against communicated performance objectives. The Government will make decisions based on performance measurement metric data and notify the contractor of those decisions. The contractor will be responsible for making required changes in processes and practices to ensure performance is managed effectively.

2.0 ROLES AND RESPONSIBILITIES

2.1. The Contracting Officer (CO) is responsible for monitoring contract compliance, contract administration and cost control; and resolving any differences between the observations documented by the Contracting Officer's Representative (COR) and the contractor's performance.

2.2 The CO will designate one COR as the Government authority for performance management.

2.3 The COR is responsible for monitoring, assessing, and communicating the technical performance of the contractor and assisting the contractor. The COR will have the responsibility for completing QA monitoring forms (refer to Attachments II and III) used to document the inspection and evaluation of the contractor's work performance. Government surveillance may occur under the Inspection of Services clause for any service relating to the contract.

3.0 IDENTIFICATION OF SERVICES TO BE PERFORMED

The contractor shall provide plant, equipment and staff required to complete the services within the contract performance period. The performance standards are established in the paragraph of the P W S and related contract documents that covers the categories of work. The acceptable level of performance is set in the acceptable quality level related to the relevant paragraphs in the contract package.

4.0 METHODOLOGIES TO MONITOR PERFORMANCE

4.1 In an effort to minimize the contract administration burden, simplified methods of surveillance techniques shall be used by the Government to evaluate contractor performance.

The primary methods of surveillance are inspection reports, progress reports, other compliance reports and customer input/feedback. The Government will use appointed representatives, as well as reports and input from users/customers as sources of comments on the contractor's performance.

4.2 The contractor is expected to establish and maintain professional communication between its employees and customers. The primary objective of professional communication between employees and customers is customer satisfaction. Customer satisfaction is the most significant external indicator of the success and effectiveness of all services provided and can be measured through customer complaints. Performance management drives the contractor to be customer focused through initially addressing customer complaints and investigating the issues and/or problems.

NOTE: The customer always has the option to communicate complaints to the COR as opposed to the contractor. The COR will accept the customer complaints and will investigate using the Quality Assurance Monitoring Form - Customer Complaint Investigation identified in Attachment III.

4.3 The acceptable quality levels (AQL) located in Attachment I, “Required Performance Metr ics Table for contractor performance”, are structured to provide negative incentives for performance shortfalls. For two (2) of the activities, the desired performance level is established at one hundred percent (100%). The other levels of performance are established at percentages somewhat less than I 00%. All are keyed to the relative importance of the task to the overall mission performance.

5.0 QUALITY ASSURANCE REPORTING

5.1 The performance management feedback loop begins with the communication of expected outcomes. Performance standards are expressed in the PWS & r e l a t e d d o c u m e n t s ; and measured by the required performance metrics in Attachment I.

5.2 The Government’s QA monitoring accomplished by the COR (and others as designated) will be reported using the monitoring forms in Attachments II and III. The forms, when completed, will document the COR's understanding of the contractor's performance under the contract to ensure that the PWS requirements are being met.

5.2.1 The COR will retain a copy of all completed QA monitoring forms.

6.0 ANALYSIS OF QUALITY ASSURANCE MONITORING RESULTS

6.1 The Government shall use the observation methods cited to determine whether the AQLs have been met. The Government's evaluation is then translated into the specific negative incentives that cause adjustments to the contractor's monthly payments

6.2 At the end of each month, and/ or at the completion of the works, the COR will prepare a written report for the CO summarizing the overall results of the quality assurance monitoring of the contractor's performance. This written report consists of the contractor's submitted progress reports and the completed Quality Assurance Monitoring Forms (Attachment II) will become part of the QA documentation.

6.3 The CO may require the contractor's project manager, or a designated alternate, to meet with the CO and other Government personnel as deemed necessary to discuss performance evaluation. The COR will define a frequency of in-depth reviews with the contractor, however if the need arises, the contractor will meet with the CO as often as required or per the contractor's request. The agenda of the reviews may discuss:

• Weekly performance measured by the metrics and trends

• Issues and concerns of both parties

• Projected outlook for upcoming weeks and progress against expected trend

• Recommendations made by the COR based on contractor information

• Issues arising from independent reviews and inspections

6.4 In addition to QA monitoring, the COR will use the information contained in the contractor's weekly report to assess the contractor's level of performance for each objective measured in this QASP (detailed in Attachment I). The COR must coordinate and communicate with the contractor to resolve issues and concerns of marginal or unacceptable performance. The contractor will discuss with the CO/COR satisfaction ratings receiving a "less than acceptable" rating. For such cases, the contractor should highlight its perspective on factors driving customer satisfaction and present plans to adjust service levels accordingly to bring the satisfaction rating up to an acceptable level.

6.5 The CO/COR and contractor should jointly formulate tactical and long-term courses of action. Decisions regarding changes to metrics, thresholds, or service levels should be clearly documented. Changes to service levels, procedures, and metrics must be incorporated as a contract modification at the convenience of the CO.

7.0. FAILURE TO PERFORM

7.1 The contractor may receive deductions or even termination based on failure to perform. The following criteria apply for determining appropriate action:

I. Notifications. Consistent with FAR Part 49, the CO shall notify the contractor of failure to meet standards through QA monitoring forms, cure notices, or show cause notices and shall inform the contractor’s project manager or designated alternate of such notices.

2. Deductions. The Government has the right to withhold a percentage of payment of the monthly cost for performing works o r services based on failure to meet performance standards. The percentage or monthly deducted amount of such withholding is identified in the Required Performance Metrics (RPM) Table of Attachment I.

3. Termination. If the CO determines that the contractor has failed to perform to the extent that a termination for default is justified, the CO shall issue a notice of termination, consistent with FAR Part 49.

ATTACHMENT I

REQUIRED PERFORMANCE METRICs (RPM) TABLE

Required Service

Performance Standards

Acceptable Quality levels

Method of Surveillance

Incentive (negative)

Contractor shall coordinate with IBWC & others as necessary

PWS Section 6 – Project Coordination and Administration

Sub-article 6.1 D

95% Random Inspections/ Complaints.

Negative performance review/ notice to correct.

10% of monthly payment may be withheld for repeated failure.

Work Progress

PWS Section 8 – Project Schedule Sub-article 8.1 D Weekly Progress Reports.

95% Files review/ rate of progress.

Negative performance review/ notice to correct/ Reduce monthly payment by 10%/ CO may ultimately cause the works to be completed by others and back charge the cost against the contract.

Complying with all Regulatory requirements including all applicable standards and codes.

PWS Section 9 Regulatory Requirements

100% Files review/ periodic random inspection/ complaints

Contractor shall be responsible for the payment of fines and/ or civil penalties levied against the Government and/ or contractor by regulatory agencies having jurisdiction, as a result of failure to comply with safety or any of the terms and conditions of any duly authorized permit, court order, administrative order, law, statute or ordinance, for reasons resulting from the contractor’s negligence or poor performance.

Complying with all Safety and Health Regulations

PWS – Section 6 Project Coordination and Administration Sub-article 6.3 Safety & Health Regulations

100% periodic random inspection/ complaints

The COR and/ or Safety Inspector may stop the works till the Safety or health violations are addressed. Contractor shall be responsible for all delays resulting from Safety & Health Violations. Negative performance review reports.

ATTACHMENT II

QUALITY ASSURANCE MONITORING FORM

Surveyed Work, Service or Standard:

Survey Period: ____________________

Surveillance Method (check):

Reports ___

100% Inspection:

Periodic Inspection:

Customer:

Input/ Feedback:

Level of Surveillance Selected (Check): ___ Daily _____ Weekly ______ As needed.

Performance of Work/ Service Provider (check):

______ meets standards _____ Does not meet standards.

Narrative of Performance during Survey Period:

Prepared by: __________________________________ Date____________________

ATTACHMENT III

QUALITY ASSURANCE MONITORING FORM

CUSTOMER COMPLAINT INVESTIGATION

Surveyed Work, Service or Standard:

Survey Period _________________

Date/ Time Complaint received: ---------------------------------------- ------------------- AM/PM

Source of Complaint: Name ___________________________________

Organization ______________________________________

Phone Number ________________________________

Email Address: __________________________________________

Nature of Complaint:

Results of Complaint Investigation:

Date/ Time Work/ Service provider informed of complaint: __________________ AM/PM

Corrective Actions taken by Provider:

Validated By: _____________________________

Prepared By: ______________________________________ Date: _______________-